UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date
of Report (Date of earliest event reported):
(Exact name of registrant as specified in its charter)
(State or other jurisdiction of incorporation or organization) |
(Commission File Number) | (IRS Employer Identification No.) |
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(Address of principal executive offices) | (Zip Code) |
Registrant's telephone
number, including area code: (
Not Applicable |
(Former name or former address, if changed since last report) |
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
Title of each class | Trading Symbol(s) | Name of each exchange on which registered | ||
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
Item 8.01 | Other Events |
Exhibits are filed herewith in connection with the issuance by American Express Company (the “Company”), on July 30, 2019, of $1,500,000,000 aggregate principal amount of 2.500% Notes due July 30, 2024 pursuant to a Prospectus Supplement dated July 25, 2019 to the Prospectus dated March 12, 2018, filed as part of the Company’s Registration Statement on Form S-3 (No. 333-223581).
Item 9.01 | Financial Statements and Exhibits |
The following exhibits are incorporated by reference into the Registration Statement as exhibits thereto and are filed as part of this Current Report:
(d) | Exhibits |
5 | Opinion and Consent of David S. Carroll, Esq. |
23 | Consent of Counsel (included in Exhibit 5) |
-2-
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
AMERICAN EXPRESS COMPANY (REGISTRANT)
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By: | /s/ Tangela S. Richter | |
Name: Tangela S. Richter | ||
Title: Corporate Secretary |
Date: July 30, 2019
-3-
Exhibit 5
American Express Company |
July 30, 2019 |
American Express Company
200 Vesey Street
New York, New York 10285
Ladies and Gentlemen:
I am Senior Counsel of American Express Company (the “Company”), a New York corporation, and I have represented the Company in connection with the offering by the Company pursuant to a registration statement on Form S-3 (No. 333-223581) of $1,500,000,000 aggregate principal amount of 2.500% Notes due July 30, 2024 (the “Securities”). The Securities are being issued pursuant to an indenture (the “Indenture”) dated as of August 1, 2007 between the Company and The Bank of New York Mellon, as trustee (the “Trustee”).
I, or members of the staff of the General Counsel’s Office of the Company, have reviewed the originals, or copies certified or otherwise identified to our satisfaction, of such corporate records and documents relating to the Company and have made such other investigations of law and fact as we have deemed appropriate as the basis for the opinions expressed below. In such examination, we have assumed the authenticity of all documents submitted to us as originals and the conformity to the originals of all documents submitted to us as copies. In addition, I have assumed the due authorization, execution, delivery and, where appropriate, authentication of the documents by all parties thereto other than the Company.
I am admitted to the practice of law only in the State of New York and do not purport to be expert in the laws of any jurisdictions other than the federal law of the United States of America and the law of the State of New York.
Based on the foregoing, and subject to the further assumptions and qualifications set forth below, it is my opinion that:
The issuance and sale of the Securities have been authorized by the Company. The Securities have been duly executed and delivered by the Company and constitute valid and binding obligations of the Company, enforceable against the Company in accordance with their terms.
American Express Company, page 2
Insofar as the foregoing opinions relate to the validity, binding effect or enforceability of any agreement or obligation of the Company, (a) I have assumed that each other party to such agreement or obligation has satisfied those legal requirements that are applicable to it to the extent necessary to make such agreement or obligation enforceable against it (except that no such assumption is made as to the Company regarding matters of the federal law of the United States of America or the law of the State of New York), and (b) such opinions are subject to applicable bankruptcy, insolvency and similar laws affecting creditors’ rights generally and to general principles of equity. The foregoing opinions are limited to the law of the State of New York.
As to certain factual matters, I have relied upon certificates of officers of the Company and certificates of public officials and other sources believed by me to be responsible; and I have assumed that the Indenture has been duly authorized, executed and delivered by the Trustee, that the Trustee’s certificates of authentication of the Securities have been manually signed by one of the Trustee’s authorized officers, that the Securities have been delivered against payment as contemplated in the prospectus and the prospectus supplement and that the signatures on all documents examined by me or members of the staff of the General Counsel’s Office of the Company are genuine (assumptions that I have not independently verified).
I hereby consent to the use of my name in each of the prospectus and the prospectus supplement constituting a part of the Registration Statement under the heading “Legal Matters,” as counsel for the Company who has passed on the validity of the Securities, and to the use of this opinion as an exhibit to the Company’s Current Report on Form 8-K, dated July 30, 2019, which will be incorporated by reference in the Registration Statement. In giving such consent, I do not thereby admit that I am within the category of persons whose consent is required under Section 7 of the Securities Act of 1933, as amended, or the rules and regulations of the Securities and Exchange Commission thereunder.
Very truly yours, | |
/s/ David S. Carroll | |
David S. Carroll | |
Senior Counsel |
Cover |
Jul. 30, 2019 |
---|---|
Cover [Abstract] | |
Document Type | 8-K |
Amendment Flag | false |
Document Period End Date | Jul. 30, 2019 |
Entity File Number | 1-7657 |
Entity Registrant Name | AMERICAN EXPRESS COMPANY |
Entity Central Index Key | 0000004962 |
Entity Tax Identification Number | 13-4922250 |
Entity Incorporation, State or Country Code | NY |
Entity Address, Address Line One | 200 Vesey Street |
Entity Address, City or Town | New York |
Entity Address, State or Province | NY |
Entity Address, Postal Zip Code | 10285 |
City Area Code | 212 |
Local Phone Number | 640-2000 |
Written Communications | false |
Soliciting Material | false |
Pre-commencement Tender Offer | false |
Pre-commencement Issuer Tender Offer | false |
Title of 12(b) Security | Common Shares (par value $0.20 per Share) |
Trading Symbol | AXP |
Security Exchange Name | NYSE |
Entity Emerging Growth Company | false |
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